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Prior Approvals for Post-Award Grant Actions

Lock icon: This link will not work for public visitors.Some links will work for NIAID staff only.

Standard Operating Procedure Table of Contents

Purpose

To change a funded project in a way that requires prior approval from NIAID.

Procedure

While PIs can perform a range of grant actions under expanded authorities, they must get prior approval from NIAID for the following things:

  • Change in scope. Get details at What Constitutes a Change in Scope? in the Strategy for NIH Funding.
  • Preaward costs charged more than 90 days before the projected start date of a new or renewal award.
    • Prior approval is not required for charging preaward costs before the start date of a noncompeting grant (the grant resulting from your progress report).
    • Keep in mind that incurring preaward costs does not obligate NIH to make the award or provide budget increases.
  • Transfer of a grant from one institution to another.
  • Change of grantee institution, for example:
    • Change in institution name.
    • Merger.
  • Change of PI, change from a single PI to a multiple PI award, or removal of PIs from a multiple PI award. See the Change of Principal Investigator SOP.
  • Change in key personnel listed on the Notice of Award.
  • Addition of a new foreign site or subaward.
  • Deviation from terms of award or restrictions reflected on the Notice of Award.
  • Carryover of unobligated balances if not authorized on the Notice of Award.
  • Late no-cost extension requests or requests beyond 12 months after the end of the grant period. For more information, read the No-Cost Extension SOP.
  • Alterations and renovations:
    • Rebudgeting more than 25 percent of a budget period's total approved budget into alterations and renovations costs.
    • Any alterations and renovations project exceeding $500,000.
    • Major alterations and renovations costs for any foreign grant.
  • Rebudgeting of funds from trainee costs to other budget categories.
  • Rebudgeting of salary and fringe benefits for investigators who receive career development awards.
  • Capital expenditures (construction or acquisition of land or building).
  • Transfer of funds between construction and non-construction work.

Read more about prior-approval requirements in the NIH Grants Policy Statement.

Principal Investigators

  • For changes in scope, use the NIH Template to document your revised Abstract, Specific Aims, and Public Health Relevance after discussing with your program officer.
  • For mergers, acquisitions, and other successor-in-interest actions, have your institution respond to the Successor-in-Interest (Type 6 Parent) announcement.
  • To transfer a grant to another institution, ensure the following occurs at least two months before you move:
  • For all other requests, get your institutional business official to send prior approval requests to your grants management specialist, with a copy to your program officer, within 30 days of the planned use of funds.
    • Make sure the request includes the following information:
      • Grant number in the subject line.
      • Your name, title, organization, telephone and fax number, and email address.
      • Authorized business official’s name and title, telephone and fax number, and email address.
      • Justification for the proposed change.
    • You don't sign letters, but you must have a signature assurance on file.
    • If you spend grant funds or make any of the changes above without written approval, NIAID may audit your institution, terminate your award, or disallow some costs.

Grants Management Specialists

  • Do the following within five working days of receiving a request:
    • Confirm receipt of the request by sending a Lock icon: This link will not work for public visitors.Prior Approval Request—Initial Reponse email to the grantee (accessible to GMP staff only).
    • Determine if the proposed change is allowed.
    • Seek guidance from the appropriate division coordinator when required (e.g., if disapproving a request).
    • Get concurrence from program staff, keeping in mind that only GMP can approve or disapprove the request.
  • If you approve a request, email the PI and institutional business official. Issue a revised Notice of Award when required by GMP.
  • It you do not approve a request, send the PI a Lock icon: This link will not work for public visitors.Disapproval Letter (accessible to GMP staff only). Do not send email.
  • Upload approval and disapproval documents into eGrants database.
  • See GMP's Lock icon: This link will not work for public visitors.Prior Approval SOP for more information.

Program Officers

  • Advise grants management specialists on prior approval requests.

Contacts

Grantees with questions should contact the program officer or grants management specialist listed in the eRA Commons. For more information, read Communicating With NIAID—How to Get Help.

If you have knowledge to share or want more information on this topic, email deaweb@niaid.nih.gov with the title of this page or its URL and your question or comment. Thanks for helping us clarify and expand our knowledge base.

Links

Carryover Requests SOP

Expanded Authorities or Federal Demonstration Partnership SOP

NIH grants policy statement, prior approval requirements

Some Actions Require Our Approval in the Strategy for NIH Funding

 

Last Updated May 22, 2013

Last Reviewed February 07, 2012